AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DE

Daniel Eatman

Some features on this profile are disabled
CRD#: 3035537
DE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Eatman JR, who also goes by Daniel Eatman Jr., Daniel Eatman, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Eatman Jr. | Daniel Eatman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 13, 2014 - July 28, 2015

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
PISCATAWAY, NJ
Past

March 11, 2014 - July 28, 2015

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
PISCATAWAY, NJ
Past

January 7, 2011 - March 12, 2012

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
SOUTH PLAINFIELD, NJ
Past

January 7, 2011 - March 12, 2012

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
SOUTH PLAINFIELD, NJ
Past

March 13, 2008 - April 28, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BRIDGEWATER, NJ
Past

March 13, 2008 - April 28, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BRIDGEWATER, NJ
Past

January 22, 2004 - December 18, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PALISADES PARK, NJ
Past

January 22, 2004 - December 18, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PALISADES PARK, NJ
Past

August 16, 2002 - December 12, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SHORT HILLS, NJ
Past

April 4, 2001 - December 12, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 18, 1999 - April 6, 2001

ICLEARING LLC

BD
CRD#: 43200
OMAHA, NE
Past

September 22, 1999 - November 17, 1999

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/6/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/20/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/13/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1999
General Securities Representative Examination

Current Firm

EN
ESSEX NATIONAL SECURITIES, LLC
ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750

BD
Terminated by SEC on 09/13/2016
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
550 Gateway Drive Suite 210, Napa, CA 94558
Mailing Address
Phone number
Established
Delaware since 06/27/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ESSEX NATIONAL HOLDING COMPANY, LLCOWNER
AMARANTE, STEPHEN PAULCHAIRMAN OF BOARD OF DIRECTORS3165067
COONEY, JOHN MICHAELCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP1326757
CUMMINGS, WILLIAM FRANCISDIRECTOR4761165
DAVIS, SCOTT KELSOPRESIDENT, CEO, DIRECTOR1252573

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

TRUST BUT VERIFY

Monitor Daniel Eatman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.